AGEM Pre-Licensing & Compliance Program


Dec. 7, 2017, 9am to Dec. 8, 2017, 4:30pm

Office/Remote Location

Room 220


Pre-Licensing Investigations/Post-Licensing Compliance and Due Diligence 

Day 1

9:00 – 10:00 a.m.     Introduction to Gaming Regulation System & Purpose of Licensing Process

  • Purpose of gaming regulation and compliance
  • Policy reasons for regulation of gaming
  • Understanding the purpose of the licensing process (privilege v. right)
  • Preparing the applicant for the process
  • Evaluation of forms and nature of investigation
  • Investigative steps

10:00 – 11:00 a.m.     Pre-Licensing Investigations for Individuals

  • Pre-Licensing Background Investigations
  • Areas that are reviewed
  • Key emplyee report filing
  • Information that is verified
  • What to expect during review
  • What to expect during NGCB/NGC hearing

11:00 – 11:15 a.m. Break

11:15 – Noon      Group Discussion: Pre-Licensing Standards

  • Analysis of pre-licensing restrictions
  • Evaluation of questions from different jurisdictions
  • Discuss the scope and purpose of investigative process
  • Evaluate possible improvements to make more efficient

Noon – 1:00 p.m. Lunch

1:00 – 2:00 p.m.      Case Study: The Challenged Applicant

  • Review of some potential red flags in the pre-licensing process

2:00 – 3:00 p.m.      Pre-Licensing Investigations for Businesses

  • Areas of review for business investigations

3:00 – 3:15 p.m.   Break

3:15 - 4:30 p.m.      Foreign Investigations

  • Pre-licensing investigations of foreign individuals and businesses
  • Resources for background research

Day 2

9:00 – 10:00 a.m.      Preparing an Effective Compliance Plan

  • Contents of Compliance Plan
  • Regulator expectations

10:00 – 10:15 a.m. Break

10:15 – 11:00 a.m.      Establishing an Effective Compliance Program

  • Report gathering and documentation
  • Training and communicating to team
  • Compliance hotline
  • Reporting to compliance committee
  • Record keeping

11:00 a.m. – Noon      Conducting Due Diligence and Creating an Internal Reporting System

  • Techniques for conducting due diligence
  • Resources for accessing information
  • Creating an internal reporting system
  • Common mistakes in compliance
  • Not so common mistakes in compliance (disciplinary actions)

Noon – 1:00 p.m.    Lunch

1:00 – 2:00 p.m.      Surviving the Compliance Audit

  • Tips on maintaining records
  • What regulators are looking for
  • Preparing Compliance Officer and Committee
  • Preparing staff

2:00 – 3:00 p.m.      Differences Among Jurisdictions

  • Nevada vs. other commercial jurisdictions
  • Commercial vs. tribal
  • What are the most effective ways to manage these differences

3:00 – 3:15 p.m. Break

3:15 – 4:00 p.m.      Correcting the Compliance System

  •  Common Mistakes in compliance
  • Not so common mistakes in compliance (disciplinary actions)

4:00 - 4:15 p.m     Wrap Up & Certificate Presentation


Who can attend this program?

  • This program is available only for AGEM members.

What is included in the registration fee?

  • The fee includes all classroom materials and a certificate of completion from the University of Nevada, Las Vegas. A continental breakfast, lunch and afternoon refreshments each day will also be provided. All other expenses, including airfare, ground transportation, evening meals and incidentals are the responsibility of the participant.

Are there recommended accommodations?

  • In addition to the large number of hotels located on the Las Vegas Strip, a number of participants choose to stay at nearby off-strip hotels.

Is transportation or parking available?

  • We encourage participants to arrive either by taxi, Uber or Lyft. However, parking will be provided in the lot immediately adjacent to the Stan Fulton Building.

What is the attire for the program?

  • The attire is business casual.

What is the refund policy?

  1. In the event a course is canceled, registrants will be notified as soon as possible and receive a full refund of their registration fee. The International Center for Gaming Regulation is not responsible for any travel and related expenses or other expenses incurred by any participant due to a course cancellation.
  2. A service fee of Twenty Percent (20%) will apply to all participant initiated cancellations received three (3) weeks prior to the event.
  3. A service fee of Fifty Percent (50%) will apply to all participant initiated cancellations received two (2) weeks (14 days or less) prior to the event. In the event you need to cancel, you may substitute another person to attend in your place. However, you will need to inform us in writing no later than two (2) business days prior to the start of the event.
  4. All cancellations and refund requests must be made in writing. Refunds granted for credit card charges will be credited to the original account charged. No refunds will be given in the event of “No Shows.” Refunds may take up to 4 weeks for processing.

Admission Information

This program is only available to AGEM members, the registration fee is $1,200.

Contact Information

International Center for Gaming Regulation
Robert Horgan

Event Sponsor

The International Center for Gaming Regulation is one of three research centers within the International Gaming Institute, on the campus of the University of Nevada, Las Vegas. The Center's mission is to promote research and learning in the areas of gaming regulation in jurisdictions around the world.